See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?
The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.
The three advisors at the San Diego–based Nautica Wealth Advisors had all previously been affiliated with the independent broker/dealer and are reconnecting with the company from Cetera.
The deal marries S&P, one of the most famous names in financial markets, with a research company that supplies forecasts to most of the world’s biggest companies as well as pricing for bonds and credit default swaps.